Secured Convertible Bridge Note, 8% PIK, (acquired 1/20/16, maturing 12/31/20)

NPORT-P false 0000893739 XXXXXXXX 180 DEGREE CAPITAL CORP. /NY/ 811-07074 0000893739 254900RA5P574LPO7H91 7 N. WILLOW STREET SUITE 4B MONTCLAIR 07042 973-746-4500 180 DEGREE CAPITAL CORP. /NY/ N/A 2020-12-31 2020-06-30 N 85541744 1587739 83954005 204937 0 0 0 0 0 0 0 0 0 1238 0 0 7934245 N ABSMaterials, Inc. N/A Secured Convertible Bridge Note, 8% PIK, (acquired 1/20/16, maturing 12/31/20) N/A 100000 PA USD 135595 0.161511056 Long DBT CORP US Y 3 2020-12-31 Fixed 8 N N Y N Y N/A N/A N/A XXXX N N N ABSMaterials, Inc. N/A Secured Convertible Bridge Note, 8% PIK, (acquired 3/28/17, maturing 12/31/20) N/A 25000 PA USD 31526 0.0375515141 Long DBT CORP US Y 3 2020-12-31 Fixed 8 N N Y N Y N/A N/A N/A XXXX N N N ABSMaterials, Inc. N/A Series A Convertible Preferred Stock N/A 390000 NS USD 23064 0.0274721855 Long EP CORP US Y 3 N N N ABSMaterials, Inc. N/A Series B Convertible Preferred Stock N/A 1037751 NS USD 319984 0.3811420313 Long EP CORP US Y 3 N N N Accelerator IV-New York Corporation N/A Series A Common Stock N/A 833333 NS USD 679446 0.8093074297 Long EC CORP US Y 3 N N N AgBiome, LLC N/A Series A-1 Convertible Preferred Units N/A 2000000 NS USD 10144876 12.0838499605 Long EP CORP US Y 3 N N N AgBiome, LLC N/A Series A-2 Convertible Preferred Units N/A 417392 NS USD 2154611 2.5664183621 Long EP CORP US Y 3 N N N AgBiome, LLC N/A Series B Convertible Preferred Units N/A 160526 NS USD 935987 1.1148807016 Long EP CORP US Y 3 N N N Alta Equipment Group, Inc. N/A Common Stock 02128L106 558628 NS USD 4340540 5.1701404835 Long EC CORP US N 1 N N N Alta Equipment Group, Inc. N/A Warrants for the Purchase of Common Stock expiring 4/8/24 02128L114 150000 OU Number of contracts/warrants USD 157095 0.1871203167 Long DE CORP US N 1 Alta Equipment Company, Inc. N/A Call Purchased N/A N/A 150000 11.5 USD 2024-04-08 XXXX 9495 N N N Amgen, Inc. 62QBXGPJ34PQ72Z12S66 Rights to Milestone Payments from Acquisition of BioVex Group, Inc. N/A 548998 PA USD 1816050 2.1631487384 Long CORP US Y 3 N N N AutoTech Ventures Management I, LLC N/A LLC Interests N/A 0 OU Number of Interests USD 125000 0.1488910505 Long CORP US Y 3 N N N Black Silicon Holdings, Inc. N/A Secured Convertible Bridge Note, 8% PIK, (acquired 8/25/16, maturing 8/4/21) N/A 1278453 PA USD 263994 0.3144507519 Long DBT CORP US Y 3 2021-08-04 Fixed 8 N N Y N Y N/A N/A N/A XXXX N N N Black Silicon Holdings, Inc. N/A Series A Convertible Preferred Stock N/A 233499 NS USD 0 0 Long EP CORP US Y 3 N N N Black Silicon Holdings, Inc. N/A Series A-1 Convertible Preferred Stock N/A 2966667 NS USD 0 0 Long EP CORP US Y 3 N N N Black Silicon Holdings, Inc. N/A Series A-2 Convertible Preferred Stock N/A 4207537 NS USD 0 0 Long EP CORP US Y 3 N N N Black Silicon Holdings, Inc. N/A Series B-1 Convertible Preferred Stock N/A 1892836 NS USD 0 0 Long EP CORP US Y 3 N N N Black Silicon Holdings, Inc. N/A Series C Convertible Preferred Stock N/A 1674030 NS USD 0 0 Long EP CORP US Y 3 N N N DWSI Holdings, Inc. N/A Class A Convertible Preferred Stock N/A 1025046 NS USD 1235956 1.4721822979 Long EP CORP CA Y 3 N N N EchoPixel, Inc. N/A Series A-2 Convertible Preferred Stock N/A 1471577 NS USD 424659 0.505823397 Long EP CORP US Y 3 N N N EchoPixel, Inc. N/A Series Seed Convertible Preferred Stock N/A 4194630 NS USD 1010296 1.2033922622 Long EP CORP US Y 3 N N N EchoPixel, Inc. N/A Series Seed-2 Convertible Preferred Stock N/A 1476668 NS USD 360137 0.4289694101 Long EP CORP US Y 3 N N N Essential Health Solutions, Inc. N/A Common Stock N/A 200000 NS USD 132476 0.1577959265 Long EC CORP US Y 3 N N N Essential Health Solutions, Inc. N/A Series A Convertible Preferred Stock N/A 2750000 NS USD 2677951 3.1897835011 Long EP CORP US Y 3 N N N Essential Health Solutions, Inc. N/A Unsecured Convertible Bridge Note, 8%, (acquired 12/19/18, maturing 12/19/21) N/A 50000 PA USD 50000 0.0595564202 Long DBT CORP US Y 3 2021-12-19 Fixed 8 N N N N Y N/A N/A N/A XXXX N N N Fleet Health Alliance, LLC N/A Unsecured Convertible Bridge Note, 0%, (acquired 4/22/16, no maturity date) N/A 225000 PA USD 0 0 Long DBT CORP US Y 3 2500-12-31 None 0 N N N N N N Franchise Group, Inc. 549300J97LXW3AREY415 Common Stock 35180X105 143169 NS USD 3132538 3.731254989 Long EC CORP US N 1 N N N HALE.life Corporation N/A Common Stock N/A 1000000 NS USD 68198 0.0812325749 Long EC CORP US Y 3 N N N HALE.life Corporation N/A Series Seed-1 Convertible Preferred Stock N/A 11000000 NS USD 1096668 1.3062724048 Long EP CORP US Y 3 N N N HALE.life Corporation N/A Series Seed-2 Convertible Preferred Stock N/A 12083132 NS USD 1287815 1.5339530258 Long EP CORP US Y 3 N N N Lantronix, Inc. N/A Common Stock 516548203 1215671 NS USD 4510139 5.3721546697 Long EC CORP US N 1 N N N Lodo Therapeutics Corporation N/A Secured Convertible Bridge Note, 6% PIK, (acquired 6/27/19, maturing 5/7/21) N/A 474019 PA USD 502850 0.598958918 Long DBT CORP US Y 3 2021-05-07 Fixed 6 N N Y N Y N/A N/A N/A XXXX N N N Lodo Therapeutics Corporation N/A Series A Convertible Preferred Stock N/A 658190 NS USD 353601 0.4211841948 Long EP CORP US Y 3 N N N Magnolia Neurosciences Corporation N/A Series A Convertible Preferred Stock N/A 862872 NS USD 655897 0.7812575469 Long EP CORP US Y 3 N N N Nanosys, Inc. N/A Series C Convertible Preferred Stock N/A 803428 NS USD 440676 0.5249017006 Long EP CORP US Y 3 N N N Nanosys, Inc. N/A Series D Convertible Preferred Stock N/A 1016950 NS USD 895344 1.0664696699 Long EP CORP US Y 3 N N N Nanosys, Inc. N/A Series E Convertible Preferred Stock N/A 433688 NS USD 470149 0.5600078281 Long EP CORP US Y 3 N N N NanoTerra, Inc. N/A Warrants for Common Stock expiring on 2/22/21 N/A 4462 OU Number of contracts/warrants USD 0 0 Long DE CORP US Y 3 NanoTerra, Inc. N/A Call Purchased N/A N/A 4462 16.8 USD 2021-02-22 XXXX 0 N N N NanoTerra, Inc. N/A Warrants for Series A-3 Preferred Stock expiring on 11/15/22 N/A 47508 OU Number of contracts/warrants USD 0 0 Long DE CORP US Y 3 NanoTerra, Inc. N/A Call Purchased N/A N/A 47508 2.1049 USD 2022-11-15 XXXX 0 N N N OpGen, Inc. 549300ZOCQGHZ50BYX61 Warrants for the Purchase of Common Stock expiring 2/17/25 N/A 62 OU Number of contracts/warrants USD 27 0.0000321605 Long DE CORP US N 3 OpGen, Inc. N/A Call Purchased N/A N/A 62 3300 USD 2025-02-17 XXXX -20 N N N ORIG3N, Inc. N/A Series 1 Convertible Preferred Stock N/A 1195315 NS USD 1140952 1.359020335 Long EP CORP US Y 3 N N N ORIG3N, Inc. N/A Series A Convertible Preferred Stock N/A 1364666 NS USD 1357551 1.6170175562 Long EP CORP US Y 3 N N N ORIG3N, Inc. N/A Series A-2 Convertible Preferred Stock N/A 176386 NS USD 185280 0.2206922707 Long EP CORP US Y 3 N N N Phylagen, Inc. N/A Series A Convertible Preferred Stock N/A 548031 NS USD 281017 0.3347273308 Long EP CORP US Y 3 N N N Potbelly Corporation 54930027NUULUR2P5W11 Common Stock 73754Y100 1489455 NS USD 3395957 4.0450208421 Long EC CORP US N 1 N N N Produced Water Absorbents, Inc. N/A Common Stock N/A 50243350 NS USD 0 0 Long EC CORP US Y 3 N N N Produced Water Absorbents, Inc. N/A Senior Secured Debt, 15% commencing on 4/1/16, matured on 12/31/19 (acquired 4/1/16) N/A 2533766 PA USD 0 0 Long ABS-CBDO CORP US Y 3 2019-12-31 Fixed 15 Y N N N N N/A N/A N/A XXXX N N N Produced Water Absorbents, Inc. N/A Warrants for Common Stock expiring upon liquidation event N/A 450000 OU Number of contracts/warrants USD 0 0 Long DE CORP US Y 3 Produced Water Absorbents, Inc. N/A Call Purchased N/A N/A 450000 0 USD 2500-12-31 XXXX 0 N N N Quantum Corporation 5493007210175UIK7S88 Common Stock 747906501 1515605 NS USD 5850235 6.9683810796 Long EC CORP US N 1 N N N Revanna Pharmaceuticals, Inc. N/A Common Stock N/A 2584763 NS USD 103391 0.1231519568 Long EC CORP US Y 3 N N N Sonim Technologies, Inc. N/A Common Stock 46564T107 5901547 NS USD 4726549 5.6299267676 Long EC CORP US N 1 N N N Synacor, Inc. 549300NABUC7MPI2X462 Common Stock 871561106 1720888 NS USD 1944603 2.3162718681 Long EC CORP US N 1 N N N Synacor, Inc. 549300NABUC7MPI2X462 Restricted Stock Units N/A 10072 NS USD 11381 0.0135562324 Long CORP US Y 2 N N N Synacor, Inc. 549300NABUC7MPI2X462 Stock Options for Common Stock Expiring 2/28/29 N/A 50000 OU Number of contracts/warrants USD 24607 0.0293100966 Long DE CORP US Y 3 Synacor, Inc. N/A Call Purchased Synacor Inc. Common Stock 50000 1.74 USD 2029-02-28 XXXX -3821 N N N Synacor, Inc. 549300NABUC7MPI2X462 Stock Options for Common Stock Expiring 5/16/29 N/A 15000 OU Number of contracts/warrants USD 7692 0.0091621597 Long DE CORP US Y 3 Synacor, Inc. N/A Call Purchased Synacor Inc. Common Stock 15000 1.64 USD 2029-05-16 XXXX -1068 N N N TARA Biosystems, Inc. N/A Common Stock N/A 2000000 NS USD 543932 0.6478928551 Long EC CORP US Y 3 N N N TARA Biosystems, Inc. N/A Series A Convertible Preferred Stock N/A 6878572 NS USD 2438255 2.9042747871 Long EP CORP US Y 3 N N N TARA Biosystems, Inc. N/A Series A-2 Convertible Preferred Stock N/A 208577 NS USD 77861 0.0927424487 Long EP CORP US Y 3 N N N TheMaven, Inc. N/A Series H Convertible Preferred Stock N/A 1320 NS USD 1981916 2.3607164423 Long EP CORP US Y 2 N N N TheMaven, Inc. N/A Series I Convertible Preferred Stock N/A 5000 NS USD 4954246 5.9011431319 Long EP CORP US Y 2 N N N TheMaven, Inc. N/A Series J Convertible Preferred Stock N/A 1000 NS USD 698127 0.8315588994 Long EP CORP US Y 2 N N N Undisclosed Acquirer N/A Rights to Milestone Payments from Acquisition of Petra Pharma Corporation N/A 5859686 PA USD 5903956 7.0323696886 Long CORP US Y 3 N N N Xenio Holdings, Inc. N/A Rights to Payments from the Merger with Xenio Systems, Inc. N/A 0 PA USD 0 0 Long CORP US Y 3 N N N 2020-08-10 180 DEGREE CAPITAL CORP. /NY/ /s/ Daniel B. Wolfe Daniel B. Wolfe President and Chief Financial Officer